This Former Participant Claim Form is ONLY for Class Members who are Former Participants , or the beneficiaries, alternate payees or attorneys-in-fact of Former Participants (all of whom will be treated as Former Participants). A Former Participant is a Class Member who did not have a plan account with a balance greater than $0 as of March 31, 2021.
This form must be completed, signed and filed electronically through this claims portal by September 28, 2021 or mailed with a postmark date no later than September 28, 2021 to the Settlement Administrator in order for you to receive your share of the Settlement proceeds. Former Participants who do not complete and timely return this form will not receive any Settlement payment. Please review the instructions below carefully. If you have questions regarding this Claim Form, you may contact the Settlement Administrator as indicated below.
PART 1: INSTRUCTIONS FOR COMPLETING FORMER PARTICIPANT CLAIM FORM
Complete this claim form and print a copy of the completed Former Participant Claim Form, for your records.
If you wish to file your completed Former Participant Claim Form by mail, it must postmarked no later than September 28, 2021 to the Settlement Administrator at the following address:The Columbia University 403(b) Settlement Administrator 1650 Arch St. Suite 2210 Philadelphia, PA 19103
If you prefer to file your claim electronically, you may use this claims portal.
It is your responsibility to ensure the Settlement Administrator has timely received your Former Participant Claim Form.
Other Reminders:
You must provide date of birth, signature and a completed Substitute IRS Form W-9, which is Part 5 of this form.
If you desire to do a rollover and you do not complete in full the rollover information in Part 4 Payment Election of the Settlement Distribution Form, payment will be made to the Former Participant.
If you change your address after sending in your Former Participant Claim Form, please send your new address to the Settlement Administrator.
Timing Of Payments To Eligible Settlement Class Members. Please note that Settlement payments are subject to the Settlement Agreement’s receiving final Court approval. If the Settlement Agreement is approved and if you are entitled to a Settlement payment under the terms of the Settlement, such payments will be distributed no earlier than late 2021 due to the need to process and verify information for all Settlement Class Members who are entitled to a payment and to compute the amount of each payment. Payments may be further delayed if any appeals are filed.
Questions? If you have any questions about this Former Participant Claim Form, please call the Settlement Administrator at (844)-292-2217. The Settlement Administrator will provide advice only regarding completing this form and will not provide financial, tax or other advice concerning the Settlement. You therefore may want to consult with your financial or tax advisor. Information about the status of the approval of the Settlement, Settlement administration, and claim processing is available on this website.
You may be eligible to receive a payment from a class action settlement. The Court has preliminarily approved the class settlement of Cates, et. al. v. Trustees of Columbia University in the City of New York, Case No. 16-6524 (S.D.N.Y.). That settlement provides allocation of monies to the individual accounts of Settlement Class Members who had plan accounts with a positive balance in the Retirement Plan for Officers of Columbia University and the Columbia University Voluntary Retirement Savings Plan (collectively the “Plans”) as of March 31, 2021 (“Current Participants”). Settlement Class Members who are entitled to a distribution but who did not have a plan account with a positive balance as of March 31, 2021 (“Former Participants”) will receive their allocation in the form of a check or rollover if and only if they mail a valid Former Participant Claim Form postmarked no later than September 28, 2021 to the Settlement Administrator. For more information about the Settlement, please call (844)-292-2217 or e-mail to Info@columbia403bplansettlement.com .
Because you are a Former Participant (or beneficiary of a Former Participant) in the Plans, you must decide whether you want your payment (1) sent payable to you directly or (2) to be rolled over into another eligible retirement plan or into an individual retirement account (“IRA”). To make that choice, please complete and mail this Former Participant Claim Form that is postmarked no later than September 28, 2021 to the Settlement Administrator. If you do not indicate a payment election, your payment will be sent payable to you directly.
PART 2: PARTICIPANT INFORMATION
First Name *
Middle
Last Name *
United States
Afghanistan
Åland Islands
Albania
Algeria
American Samoa
Andorra
Angola
Anguilla
Antarctica
Antigua and Barbuda
Argentina
Armenia
Aruba
Australia
Austria
Azerbaijan
Bahamas
Bahrain
Bangladesh
Barbados
Belarus
Belgium
Belize
Benin
Bermuda
Bhutan
Bolivia, Plurinational State of
Bonaire, Sint Eustatius and Saba
Bosnia and Herzegovina
Botswana
Bouvet Island
Brazil
British Indian Ocean Territory
Brunei Darussalam
Bulgaria
Burkina Faso
Burundi
Cambodia
Cameroon
Canada
Cape Verde
Cayman Islands
Central African Republic
Chad
Chile
China
Christmas Island
Cocos (Keeling) Islands
Colombia
Comoros
Congo
Congo, the Democratic Republic of the
Cook Islands
Costa Rica
Côte d'Ivoire
Croatia
Cuba
Curaçao
Cyprus
Czech Republic
Denmark
Djibouti
Dominica
Dominican Republic
Ecuador
Egypt
El Salvador
Equatorial Guinea
Eritrea
Estonia
Ethiopia
Falkland Islands (Malvinas)
Faroe Islands
Fiji
Finland
France
French Guiana
French Polynesia
French Southern Territories
Gabon
Gambia
Georgia
Germany
Ghana
Gibraltar
Greece
Greenland
Grenada
Guadeloupe
Guam
Guatemala
Guernsey
Guinea
Guinea-Bissau
Guyana
Haiti
Heard Island and McDonald Islands
Holy See (Vatican City State)
Honduras
Hong Kong
Hungary
Iceland
India
Indonesia
Iran, Islamic Republic of
Iraq
Ireland
Isle of Man
Israel
Italy
Jamaica
Japan
Jersey
Jordan
Kazakhstan
Kenya
Kiribati
Korea, Democratic People's Republic of
Korea, Republic of
Kuwait
Kyrgyzstan
Lao People's Democratic Republic
Latvia
Lebanon
Lesotho
Liberia
Libya
Liechtenstein
Lithuania
Luxembourg
Macao
Macedonia, the former Yugoslav Republic of
Madagascar
Malawi
Malaysia
Maldives
Mali
Malta
Marshall Islands
Martinique
Mauritania
Mauritius
Mayotte
Mexico
Micronesia, Federated States of
Moldova, Republic of
Monaco
Mongolia
Montenegro
Montserrat
Morocco
Mozambique
Myanmar
Namibia
Nauru
Nepal
Netherlands
New Caledonia
New Zealand
Nicaragua
Niger
Nigeria
Niue
Norfolk Island
Northern Mariana Islands
Norway
Oman
Pakistan
Palau
Palestinian Territory, Occupied
Panama
Papua New Guinea
Paraguay
Peru
Philippines
Pitcairn
Poland
Portugal
Puerto Rico
Qatar
Réunion
Romania
Russian Federation
Rwanda
Saint Barthélemy
Saint Helena, Ascension and Tristan da Cunha
Saint Kitts and Nevis
Saint Lucia
Saint Martin (French part)
Saint Pierre and Miquelon
Saint Vincent and the Grenadines
Samoa
San Marino
Sao Tome and Principe
Saudi Arabia
Senegal
Serbia
Seychelles
Sierra Leone
Singapore
Sint Maarten (Dutch part)
Slovakia
Slovenia
Solomon Islands
Somalia
South Africa
South Georgia and the South Sandwich Islands
South Sudan
Spain
Sri Lanka
Sudan
Suriname
Svalbard and Jan Mayen
Swaziland
Sweden
Switzerland
Syrian Arab Republic
Taiwan, Province of China
Tajikistan
Tanzania, United Republic of
Thailand
Timor-Leste
Togo
Tokelau
Tonga
Trinidad and Tobago
Tunisia
Turkey
Turkmenistan
Turks and Caicos Islands
Tuvalu
Uganda
Ukraine
United Arab Emirates
United Kingdom
United States Minor Outlying Islands
Uruguay
Uzbekistan
Vanuatu
Venezuela, Bolivarian Republic of
Viet Nam
Virgin Islands, British
Virgin Islands, U.S.
Wallis and Futuna
Western Sahara
Yemen
Zambia
Zimbabwe
Country *
Mailing Address *
City *
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District Of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Armed Forces - Africa, Canada, Europe, Middle East
Armed Forces - Americas
Armed Forces - Pacific
American Samoa
Guam
Marshall Islands
Northern Mariana Islands
Puerto Rico
US Virgin Islands
State *
Province
Zip Code *
Postal Code *
Home Phone
Work Phone or Cell Phone
👁
Participant’s Social Security Number *
Participant’s Date of Birth *
Email Address *
Check here if you were a Former Participant but did not receive this Claim Form in the mail. This may be because you were a participant in the Plans only for a brief period.
* Required Fields
PART 3: BENEFICIARY OR ALTERNATE PAYEE INFORMATION (IF APPLICABLE)
Check here if you are the surviving spouse or other beneficiary for the Former Participant and the Former Participant is deceased. Documentation must be provided showing current authority of the representative to file on behalf of the deceased. Please complete the information below and then continue on to Parts 4 and 5 on the next page.
Check here if you are an alternate payee under a qualified domestic relations order (QDRO), or attorney-in-fact for the Former Participant. The Settlement Administrator may contact you with further instructions. Please complete the information below and then continue on to Parts 4 and 5 on the next page.
Your First Name
Middle
Last Name
👁
Your Social Security Number *
Your Date of Birth *
Your Mailing Address
City
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District Of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Armed Forces - Africa, Canada, Europe, Middle East
Armed Forces - Americas
Armed Forces - Pacific
American Samoa
Guam
Marshall Islands
Northern Mariana Islands
Puerto Rico
US Virgin Islands
State
Zip Code
PART 4: PAYMENT ELECTION
Payment to Self – A check subject to mandatory federal and applicable state withholding tax will be mailed to your address on the previous page.
Direct Rollover to an Eligible Plan – Check only one box below and complete Rollover Information Section Below:
Government 457(b)
401(a)/401(k)
403(b)
Direct Rollover to a Traditional IRA
Direct Rollover to a Roth IRA (subject to ordinary income tax)
Rollover Information:
Company or Trustee’s Name (to whom the check should be made payable)
Company or Trustee’s Mailing Address 1
Company or Trustee’s Mailing Address 2
Company or Trustee’s City
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District Of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Armed Forces - Africa, Canada, Europe, Middle East
Armed Forces - Americas
Armed Forces - Pacific
American Samoa
Guam
Marshall Islands
Northern Mariana Islands
Puerto Rico
US Virgin Islands
State
Zip Code
Account Number
Company or Trustee’s Phone Number